Important components in proposed integrated method for failure analysis will be introduced.
The mental constructs the decisions that we take, the actions that we engage inIt is interesting to investigate people’s mental models to understand people’s behavior when they interact with the world.
Individual cannot consider all detail and information of a certain situation but observe selectively through there limited mental models as what is in their interest and concernIn a decision situation, one perceives only those parts the attention has been draw to or make sense to the observerThe perceived information is processed and translatedIssue framing may occur on the basis of an individual mental models or in interaction with othersThese four process of selective observation, perception, mental models processing and issue framing may be influenced by heuristic cognitive processing or person’s bias.
One stakeholder may hold different mental models within one project or paradigm. Stakeholder can apply their individual mental model to different action situation. Different stakeholder may engage in a project with their mental models, holding different interest, beliefs, cultural background.They may interpret each others arguments very differently and may hold different expectations about each other behaviour.
One of the well-known tools in project management is WBS.PMBOK guide define WBS as “a deliverable-oriented hierarchical decomposition of the work to be executed by the project team to accomplish the project objectives and create the require deliverables”
The important aspect here is breaking the failure down into its component parts and expressing that breakdown.The failure events that take place is always witness, but we can’t see the cause or the background. As a developing failure becomes evident as a failure, a person take action to deal with unfolding sequence of events.These events and action taken in response to them as a result or sequel.
In this integrated framework, stakeholder mental models is integrated into project work breakdown structure to identify stakeholder mindset and behavior associated with actual situation in each phase which influence failure of the project.
Generally speaking, the introducing approach is understood to require integration of stakeholder analysis and project analysis. This approach encompasses three essential step:
Failure knowledge database was developed based on learning experience and lesson learns from failure for the purpose of avoiding and preventing project failure.A failure consists of three basic elements; “Cause”, “Action”, and “Result” as illustrated in this presentation
Results from failure knowledge database analysis define the problem context, problem phenomenon and related stakeholder for further analysis.
This is example of officer in the DWR mental models influence diagram
From the constraint-measure-objective analysis, three groups of constraints were identified.Capacity of the DWR and staff in project managementLack of planning for implementation of the DWRAbsence of stakeholder participation
In response to identified constraints, three thematic and cross-sectional modules were proposed as tailor to match with context of Thai water resources management.
Special attention will be paid to the project life cycle management in terms of the process, roles and responsibilities that the different group of stakeholder may have with respect to achieving the stakeholder’s objective and the project goals.
In an attempt to solve the malfunction project problems, beneficiary contribution system is introduced.This approach is a combination of stakeholder management, responsibility sharing and technical matters. The basic principles of beneficiary contribution approach in this research are:
Failure analysis integrated multi stakeholder mental model and project life cycle
FAILURE ANALYSIS OF MALFUNCTION WATER RESOURCES PROJECT IN THE NORTHEASTERN THAILAND: INTEGRATED MENTAL MODELS AND PROJECT LIFE CYCLE PERSPECTIVE APPROACH By Piriya URAIWONG Kochi University of Technology Advisor: Professor, Dr.Tsunemi Watanabe Examination Committee: Professor, Dr.Seigo Nasu Professor, Dr.Osamu Tomisawa Professor, Dr.Yoshinori Nakagawa Associate Professor, Dr.Takashi Goso2013/2/12
Research questions Answer 1. Causes of this malfunction? Determine 2. Stakeholder’s behavior associated with malfunction? 3. Solution for the problem? Conclusions Research Methodology problem1. Identified failure Malfunction 1. Failure analysis causes and water 2. Stakeholder’s solutions resources mental models2. New failure project analysis analysis approach 1. Integrated mental models with WBS in project life cycle perspective Permit 2. Multi-Stakeholder’s behavior in Produce malfunction project Results 2
Defining “Malfunction” and “Failure”• “Malfunction”- Fail to work normally or properly (v.), failure of this kind (n.) (Oxford advanced learner’s dictionary,1989)• “Failure” – The inability of the project to deliver the intended benefit to the identified stakeholders• Many levels of failure- from mild failure to complete failure (Layton, 2011) 3
Problem statement• Malfunction small-scaled water resources project – “a project that Fail to work normally or properly to deliver the intended benefit to the identified stakeholders” 4
Problem statement 5% 8% 17% Good condition Minor reconstruction Rehabilitation 27%43% Re-construction Rejected Water resources project condition (Department of Water Resources: DWR, 2008) 5
Research objectives1. To identify factors which cause malfunction in water resources project2. To study behavior of key stakeholder who participated in malfunction of water resources project3. To offer tools and methods that loosen constraints regarding malfunction water resources project 6
Research questionsRQ1 • What are factors which cause an malfunction of water resources project? • What are behavior of key stakeholder’s whoRQ2 participated in malfunction of water resources project? • What would be proposed measures orRQ3 mechanism to improve water resources project management in Thailand? 7
Research methodology 1. Preliminary diagnose malfunction project: Failure Knowledge Database Develop analysis method2. Introducing integrated failure analysis approach Application to cases 3. Multi-Stakeholder’s mental models analysis Constraint-measure 4. Proposes measures and action plan 9
Introducing integrated mental models and project life cycle approach for failure analysis 10
Previous work on failure analysis• Check sheets and Modified Pareto analysis (1897)• Cause-and-effect diagram (Ishikawa diagrams, 1960’s)• Fault tree analysis (Fussel, 1976)• Failure Mode and Effects Analysis: FMEA (IEEE std 352)• Failure knowledge database (Hatamura, 2005)• Integrated Water Resources Management (1992) 11
Limitation of conventional analysis and Proposal of new approach • Conventional analysis -> Less include stakeholder’s mindset in failure analysis Recommendation Root causeData collection generation and identification implementation Integrate Propose -> Overcome limitation of Stakeholder’s mindset regardless complexity of stakeholder mindset and behavior associated with a failure project 12
Mental models• “The images (attitudes and assumptions) we carry in our minds about ourselves, other people, institutions, and every aspect of the world which guide our interpretations and behavior.” (HSBC sign ad) 13
Coding and mapping mental models Stakeholder semi- Coding Mapping structured interview Statement Network of concepts concepts Influence (Adapted from Carley, 1997) map 14
Key aspects and process of mental models of an individual in decision influence Heuristics/ (1) Selective Mental models observation biases (2) Perception Background: personal, cultural, education (changed) Individual (4) (3)Action Situation (AS) Framing issue Mental models / Outcome processing Action Possible actions & effects (Adapted from Isendahl, 2010) 15
Project life cycle and work breakdown structure The project life cycleInitiating and Operation and Construction Planning Maintenance Work Work Work element 1.1 element 2.1 element 3.1 Work Work Work element 1.2 element 2.2 element 3.2 17 (Haugan, 2003)
Integrated approach Differences of actual situationInfluence Consequence Integrate Influence 19
Integrated framework Stakeholder 1 Stakeholder 2 Stakeholder 3 Mental Mental Mental Cause/ models 1 models 2 models 3 BackgroundPlanning phase AS 1.1 AS 2.1 AS 3.1 Event/Construction phase AS 1.2 AS 2.2 AS 3.2 ActionOperation and AS 2.3 AS 1.3 AS 3.3maintenance phase Result/ Sequel 20
Integrated process1. Define problem context: project, phenomenal, etc. (by Failure knowledge database and project lifecycle and work breakdown structure)2. Identify stakeholders and elicit stakeholder’s mental models3. Apply multi-stakeholder’s mental models under project life cycle and work breakdown structure 21
Practical application of integrated approach 22
Failure Knowledge Database Cause Actions Results(Hatamura, 2005) 23
Initial diagnosed factors related to malfunction project01. Occurrence of abnormal 02. Insufficient knowledge Causes : 08. Poor concept 09. Poor planning : Actions 15. Self-protection 16. Economic loss : Results 21. External damage 24 (Complete result can be found in attachment # 1)
Case study I Fractures on Broken radialDownstream concrete gates with stolen blockage structure pulleys 25
Case study II No use of canalStructural (growing rice in No area the canal) failure maintenance 26
Semi-structured interview Interviewee group NumberOfficer in the Department of Water 5Resources (DWR)Officer in the Local Administration 4Office (LAO)Project user 12 Total 21 27
Partial mental models influence diagram The DWR lack of The DWR lack of trainingcontinuity to follow and education in project up the project operation and maintenance Project user disregard of procedure No specific budget for maintenance work Project user lack of maintenance Idea of “I need water, but I don’t Malfunction of project want to fix when the project is broken” 28
DWR-HQ03 mental models influence diagram the Bureau of Budget didnt see importance of bureaucratic reform of the maintenance budget Thai government in October DWR-HQ03 2002 establishment of no maintenance budget when the DWR was the DWR established human resource management problem of agency solving by making projects under the ARD shortage number alliance organization vision, were transfered to the DWR mission and policy design budget and the DWR transfers adaptation of officers projects inventory small public hearing technology support knowledge to local from various agencies system process for couple hours administration the Decentralization process of budget budget and projects approvement took almost inventory approvement from previous constitution didnt Act 1999 2-3 years the cabinet put people at center pay attention on public project O&M, project and adjust ourselve participation management, establishment of projects transfer to local creat the DWR water user group adminstration office value trust from local is thedifferent budget system most important from the DWR problem in public no budget for project no activity on lack of continuity on participation project maintenance attitude of the maintenance projects DWR officers local administration offices regional office annual budget problems in first transfered project negotiation with facing problem implementation plan couple years politician public participation process malfunction not sharing experiences and stated in the Prime Minister projects problems in public Office Regulation the local administration participation work need to manage their own projects proposed projects proposed by budget tendency of by politicain running by own technical support no attention on maintenance locals need decreasing in number fund from the DWR work for projects transfered from the ARD government implement the DWR more public participation coordination between locals satisfy with a implementation plan politician, the DWR and activity the DWR does not increasing income support budget all time establishment of project local is needed water user group area development regional office pay regional office project otherwise they will cooperation between attention on new project responsibility maintenance work only wait for help the DWR and locals the DWR provide local local feel that the DWR a stage to speak doesnt leave them integrated work of bureaus in the DWR proposal on hiring consultant company for public participation work 29
KY-LAO02 mental models influence diagram no water user group for free access insufficient water the weir project drastic water fluctuation heavy traffic over quantity for agriculture in dry and wet season flooding use the weir Kud Sri Pum weir the pulley was pumping station and user project stolen slump and cracks decision made by group establishment occurance on themajority of water users infrastructure no bridge to cross the unable to close stream in this area lack of knowledge on the gate project operation andconflict resolution done by maintenancevoting among water users malfunction of the function as a bridge to cross a unequal benefit disign rule preventing project among water users overloaded truck to cross canal to transport agriculture product the weir perceive as project working well afraid of occurance of social mechanism serious structure damages in problems related to tax payers preventing personal incooperate with future this project selfishness the TAO becoming the TAO expectation of benefit burden looking for solution from from the local percieved as sense request full rehabilitation of the TAO as priority administration of ownership project to be in a good condition rejection on project villager benefit lost transfer from the DWR the TAO responsibility for all civil work KY-LAO01 mental models accept the project the TAO from the DWR project damages uncapable of help assesment under capability of over capability of the TAO the TAO solving problem by themselves at last looking for help from repair work othe agencies 30
KY-LV06 mental models influence diagram small storage tempolary weir and always broken in rain season KY-LV06 discussion among local small conflict between negotiation by villagers for new wier upstream and downstream villager chief villager chief requested the politician contacted project was project to the local rule for water intake from the the ARD agnency constructed meeting among politician stream from villagerss villagers agreement difficult to get a function as a project water usage for bridge pumping station agriculture villagers agree and need to take care of monitoring respect the rule a project overloaded truck pulley chain was serving half of the broken sub-district area fixed by villagerss pulleys were stolen if budget is sufficient, money villagers will help to take buy new pulley from care a project old concrete villagerss money water leaking from two out of four sluice broken rubber seal spillway gate are not working limited budget of the around the sluicegate DWR and the TAO large amount of water released from the dam in water leaking from one time the gate project understanding the explanation and malfunctions limitation flooding weir structure is compromisation by secured villager chief no maintenance plan poor road damages on negotiation with the dam maintenance work agriculture products condition on water release regulation by the DWR difficulty in consensus on so far we can use public property issue unwilling to spend much it, its ok money on public looking for appropriate no cooperation with adding riprap at difficulty in agriculture income lost maintenance work compensation from the dam the TAO downstream product transport concern for personalbenefit rather than public unwilling to share responsibility but want the sometimes fix some damages because villagers benefit from benefit from a project is percieved as sense of 31 benefit same benefit a project ownership22
Malfunction influence diagram Stakeholder A Stakeholder B Stakeholder C Mental Mental MentalPlanning phase Work models models models element AS1 AS1 AS1 Mental Mental MentalConstruction Work models models models phase element AS2 AS2 AS2 Mental Mental MentalphaseO& M Work models models models element AS3 AS3 AS3 Sequel 32
Malfunction influence diagram Department of Water Resources Local Administration Project User Office Low attention Being ignoreddevelopment Being ignored in stakeholder from from Project Less public phase participation participation participation participation activity No long-term No project Low project plan Poor planning involvement information sharingConstruction Focus on project No training for No involvement in No involvement in operation and construction construction phase delivery maintenance No Expect Project’s No knowledge knowledge benefit from infrastructure projectmaintenance No maintenance No Fear of burden No benefit Operation from project phase budget maintenance and loosing face and Minor Avoidance of Ignorance of damages responsibility damages Mental models Malfunction project Actual 33 situation
Summary of mental models toward project management Perspective Department of Local Administration Project Users Water Resources OfficePriority of project Delivery of Responsibility for all Water needs andgoals construction infrastructure project water usage projectMain driving Organization Community Economicforce missions and development incentives regulationsTimescale of Short to medium Long term Long termimplementation termOwnership of the Authority from law Local authority and Based on benefitproject and regulation organization capability from a projectResponsibility of Central authority Local authority and Based on benefitoperation and and available available budget from a projectmaintenance budget 36
Summary of mental models toward project management Perspective Department of Water Local Administration Project Users Resources OfficeCauses of - Budget constraint - Budget constraint - Self-interest inmalfunction - No project life cycle - Limited number priority/ Constraints management plan of skilled-workers - Lack of - Politician - Fear of burden knowledge in interference from malfunction operation and - Corruption project maintenance - Lack of coordination - Absence of between units in responsibility the organization sharing - Low quality control - Ignorance of in construction malfunction work - Belief in politician’s power 37
Identified constraints Lack of planning for implementation of the DWR Capacity of the DWR and staff in project management Absence of stakeholder participationDWR= the Department of Water Resources 38
Constraints and proposed measures Constraint 1: Thematic 1:Lack of planning for Utilization project life cycleimplementation of the DWR planning and management Constraint 2: Thematic 2:Capacity of the DWR and Improving the DWR capacitystaff in project management to deliver service Constraint 3: Thematic 3:Absence of stakeholder Stakeholder participationparticipation and building capacityDWR= the Department of Water Resources 40
Thematic 1: Utilization project life cycle planning and management Identification Evaluation Appraisal Operation and Financing maintenance Construction 41
Thematic 1: Utilization project life cycle planning and management Project phase Proposed measures Project identification 1. The DWR should conduct situation and problem analysis and stakeholder Identification analysis Evaluation Appraisal 2. Incorporate “Hierarchical cooperative objectives or goals” in the project identification process Operation and Financingmaintenance Construction 42
Thematic 1: Utilization project life cycle planning and management Project phase Proposed measures Project appraisal 1. The DWR should concern on the Identification sustainability aspects of the project formulation Evaluation Appraisal 2. Project should have capacity to Operation continue and become sustainable andmaintenance Financing without external support Construction 3. Estimation the life cycle cost over the whole life of the project or at least first four years is needed 43
Thematic 1: Utilization project life cycle planning and management Project phase Proposed measures Project financial 1. The DWR’s executive negotiation with management the Bureau of Budget on operational and maintenance fund Identification Evaluation Appraisal Operation and Financingmaintenance Construction 44
Thematic 1: Utilization project life cycle planning and management Project phase Proposed measuresProject construction 1. Formulate the construction qualityand quality control control committee composed of representatives from the DWR, the Identification Local Administration Office and project Evaluation Appraisal 2. Foster a proper sense of professional ethics in the DWR staff of pride in the Operation and Financing work and the value of the jobmaintenance Construction 3. Continual education, training and monitoring system are necessary 45
Thematic 1: Utilization project life cycle planning and management Project phase Proposed measuresProject operation and 1. Established the provisional operation plan and maintenance phase maintenance schedule 2. The DWR should take a role of a facilitator to Identification facilitate the technical issues 3. Maintain a performance database including Evaluation Appraisal maintenance records, condition assessment data and other items 4. Periodic inspection in project performance is Operation needed and Financingmaintenance 5. Adequate funding and resources must be Construction secured for the operation and maintenance 6. Establish the emergency maintenance fund at the central office 46
Thematic 1: Utilization project life cycle planning and management Project phase Proposed measures Project monitoring 1. Framework of the project assessment and evaluation system Identification Evaluation Appraisal Operation and Financingmaintenance Construction 47
Framework of the project assessment system Indicator categories Index Themes Resources used correctly Obtained result compared to result used Complication of project management Efficiency Stakeholder relationship Implemented activities compared to objectives and plan Effectiveness Degree of achieving expected results Overall Long-term impact on the project assessment surrounding environment Impact Direct and indirect change produced by the project Likelihood the benefit produced by the project to continue without external Sustainability subsidies Capacity of organization established for the project Developed competencies of staff 48
Thematic 2: Improving the DWR capacity to deliver serviceEstablishment of “the capacity building unit”• provide training, technical assistance and management support serviceIdentify and develop a series of practicalguidelines for operation• Review process of project planning, designing, construction and implementing• Guideline for appropriate and effective public participation, etc. 49
Thematic 3: Stakeholder participation and capacity building Stakeholder participation and stakeholder capacity building program is a repetitive activity • could be achieved through supportive reasonable budget Diagnose and identify particular factors that can make public participation difficult to implement • describe the difficulties and identifies practice Be carefully in adopting a process for selecting best techniques and tools for the situation 50
Propose of Beneficiary Contribution Approach1. Scheme is identified by local with technical supports and construction work from the DWR2. Beneficiaries and related stakeholders must be involved in all stages3. Scheme must produce sufficient benefit for project life cycle management4. Beneficiaries contribute equivalent to the cost of first year of Operation and maintenance5. Monitoring and evaluation system must be applied to project 51
Stages in Beneficiary Contribution Approach III: Construction and operation and maintenance II: Water users’ phase cooperative • Beneficiary establishment and a contribution project plan • Project O&M development phase supported by theI: Development of DWR • Detailed design& Costproject preliminary • Stakeholder analysisphase • Water user• Preliminary design cooperative• Information organization & MOU sharing 52
Conclusion 1: Integrated stakeholder’s mental models in failure analysis• Applicable and useful method 54
Conclusion 2: Causes of malfunction project– Lack of planning for implementation of the Department of Water Resources (DWR)– Capacity of the DWR and staff in project planning and management; and– Absence of stakeholder participation and stakeholder capacity building 55
Conclusion 3: Stakeholder’s behavior• The Department of Water Resources (DWR) – Focusing on delivery project side – Low respond to project operation and maintenance management demand• Local administration office – Recognized their limitation of budget and low capability – Avoid or transfer burden may occurred from malfunction project to the project owner• Project users – Very sensitive, income is main driving force – Disregard of maintenance ignorance after project became malfunction and made no benefit the project was abandoned 56
Conclusion 4: Proposed measures• Three thematic – Thematic 1:Utilization project life cycle planning and management – Thematic 2:Improving the DWR capacity to deliver service – Thematic 3:Stakeholder participation and building capacity• Beneficiary contribution approach 57
PublicationsInternational Journal1. Uraiwong, P. & Watanabe T. (2012). “Small-scaled water resources project in Thailand: Failure analysis and improvement of stakeholder involvement”. Journal of Society for Social Management Systems (Peer-reviewed) serial SMS12-6080.2. Komatsu T., Nakaya S., Uraiwong P., and Watanabe T. "Multi- Stakeholder Mental Model in Monobe River Improvement and Maintenance. "Journal of Society for Social Management Systems (Peer-reviewed) serial SMS12-9459.3. Uraiwong, P. & Watanabe T. (2011). “Stakeholder analysis of water resources projects in Thailand”. Journal of Society for Social Management Systems (Peer-reviewed) serial SMS11- 5587. 59
PublicationsInternational Conference1. Uraiwong, P. & Watanabe T. (2012). “Small-scaled water resources project in Thailand: Failure analysis and improvement of stakeholder involvement”. The 8th International Symposium on Social Management Systems SSMS2012 - Disaster Prevention and Reconstruction Management -, 2-4 May 2012, Kaohsiung, Taiwan, R.O.C.2. Komatsu T., Nakaya S., Uraiwong P., and Watanabe T. (2012). "Multi- Stakeholder Mental Model in Monobe River Improvement and Maintenance. The 8th International Symposium on Social Management Systems SSMS2012 - Disaster Prevention and Reconstruction Management -, 2-4 May 2012, Kaohsiung, Taiwan, R.O.C.3. Uraiwong, P. & Watanabe T. (2011). “Stakeholder analysis of water resources projects in Thailand”. IESL-SSMS Joint International Symposium on Social Management Systems 2011, 14-16 September 2011, Colombo, Sri Lanka 60
PublicationsInternational Conference (cont.)4. Uraiwong, P. & Watanabe T. (2012). "Public AwarenessCampaigns and Education Program in the Monobe River."Thailand-Japan International Academic Conference 2012Proceeding. Tokyo, Japan, October 20125. Uraiwong, P. & Watanabe T. (2011). "Model for Small-scaledWater Resources Project Development: Based on Thai Case."Thailand-Japan International Academic (TJIA) Conference 2011.Tokyo, Japan, November 20116. Uraiwong, P. & Watanabe T. (2010). “Community mechanismsfor water resources risk management”. Proceeding ofInternational conference for a sustainable Greater MekongSubregion, King Mongkut’s University ofTechnology, Bangkok, Thailand,26-27 August 2010, pp.431-434. 61